Mitigating Risk
Whether seeking capital or looking to invest, all equity investments, especially those involving large sums of money, come with a certain level of risk. It is important to have a savvy legal partner on your side who understands these risks, the economic marketplace, and your business objectives.
Experience is a Game Changer
At Mirick, we are well-versed in the Securities and Exchange Commission’s rules and regulations and have decades of experience advising and working with clients on all sides of transactions. This comprehensive knowledge and breadth of experience translates to cost-effective and efficient legal services for our clients.
Our securities attorneys regularly guide private and public corporations, limited liability companies, partnerships, and other business entities in all industries, including high tech, banking, and manufacturing, through all stages of complex securities transactions. Our clients appreciate that we capitalize on having both perspectives when advocating for their best interests.
Private Placements and Venture Capital
- Private placements and subscription documentation for start-ups and early-stage companies
- Private investments in public equity (PIPEs) for public companies
- SEC and state Blue Sky compliance
- Due diligence review
SEC Disclosure and Reporting
- Quarterly, annual and current reports on forms 10-K, 10-Q and 8-K
- Proxy statements
- Schedules 13D and 13G
- Advise on insider trading issues
- Regulation FD requirements
- Press releases
- Rule 144 opinions
- Corporate governance
- Stock exchange listing matters
Public Offerings
- Prepare registration documents for companies that are issuing debt or equity securities
- Prepare dividend reinvestment plans and self-registrations
Start here. Move forward.
To us, you are not just a transaction in the books. We value your business and want it to thrive. As a full-service law firm, our clients benefit from our cross-departmental approach to legal representation.
Employee Benefits
Our securities and venture capital group work with the firm’s employee and benefits practice with respect to employee benefits plans, including tax-qualified pensions, profit sharing, 402(k), health and welfare, cafeteria, and employee stock ownership plans. We also help public companies prepare Compensation Discussion and Analysis (CD&A) as part of their annual filing requirements. We prepare stock option and stock award plans and agreements and ensure compliance under federal and state tax and securities law.
